SEC Form 4 · accession 0001144204-15-030098
FIRST DEFIANCE FINANCIAL CORP · FDEF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy K. Harris
Officer — EVP, First Federal Bank
Period of report
May 11, 2015
Accepted (ET)
May 13, 2015 · 3:12 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000946647
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1 | May 11, 2015 | M | 750 | $0.00 | A | 15,835 | D | |
| Common Shares | May 11, 2015 | M | 750 | $0.00 | A | 16,585 | D | |
| Common Shares | May 11, 2015 | F | 1,146 | $35.26 | D | 15,439 | D | |
| Common Shares | holding | — | — | — | 2,210 | I | Held by ESOP |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option To BuyF2 | $26.47 | May 11, 2015 | M | 750 | D | — | May 22, 2016 | Common Shares | 750 | 0 | D |
| Stock Option To BuyF3 | $27.41 | May 11, 2015 | M | 750 | D | — | Apr 16, 2017 | Common Shares | 750 | 0 | D |
Explanation of responses
- F1The ending balance differs from amounts previously reported because of shares acquired under a dividend reinvestment plan and an employee stock purchase plan.
- F2The option representing a right to purchase 750 shares became exercisable in five equal annual installments beginning on May 22, 2007.
- F3The option representing a right to purchase 750 shares became exercisable in five equal annual installments beginning on April 16, 2008.